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Project Overview - Understanding the Issues

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Appendix 1 - Research Management Plan Extracts and outline of methodology

SME "Good Regulation" Project: Phase One - Understanding Issues

Resear

ch Management Plan

Author: WEB Research (with Department of Labour)

TABLE OF CONTENTS

1 Introduction
2 Overall SME "Good Regulation" Project Research goals
- 2.1 Objectives
- 2.2 Research Rationale for the Overall Project
- 2.3 Project Approach
3 Overview of Phase One - Understanding Issues
- 3.1 Research Questions for Phase One - Understanding Issues
4 Research Methodology
- 4.1 Research Philosophy - Understanding 'Regulation' as a System of Activity
- 4.2 Developmental Work Research
  - 4.2.1 Activity Theory
  - 4.2.2 Expansive Learning Cycles
  - 4.2.3 Using integrated approaches to problem-solving in complex systems
- 4.3 Rationale for Using DWR Methodology
5 Structure and design of Phase One - Understanding Issues
- 5.1 Context of the overall expansive learning cycle
- 5.2 Limitations of the DWR Approach
- 5.3 General data collection and analysis processes
- 5.4 Intended storage of data
- 5.5 Procedures to handle ethical obligations to research participants
6 Resourcing and Budget
7 Insights from the literature on activity, learning and practice
8 Exploration Group
9 Interim Design Team Processes

Review Version history - Research Management Plan

Release Date	Author of version	Version	Changes
15 March 04	Roberta Hill	Research Management Plan finalV2	Created by Roberta and Phillip for circulation to project team for review.
16 March 04	Sue Taylor	Research Management Plan V2.1 Draft (corrupted)	Sue included appendices and other detail, some formatting.
19 March 04	Sue Taylor	Research Management Plan V2.2 Draft	Sue removed corruption, reviewed Nicole’s comments, re-organisations and re-incorporated appendices.
21 March 04	Richard Whatman	Research Management Plan, creation as Appendix 1	Richard removed repetition vis-à-vis the Project Overview document, reformatted and placed in the body of the Overview document.
26 April 2004	Sue Taylor	Updated as Appendix 1	Sue updated Appendix 1 to reflect finalised Research Management Plan V3.0 Final

1 Introduction

The evolving nature of understanding about regulation and its impact on SMEs within the NZ context has prompted the Department of Labour (DoL) to develop a project that seeks to increase understanding of regulatory issues as they apply to SMEs (see Project Overview and Management Plan).

This Research Management Plan relates specifically to Phase One - Understanding Issues of the broader Project (Phase One - July 2003 to June 2004). Its purpose is to clearly identify the scope of the research deliverables for Phase One. The Research Management Plan in Appendix One (this document extract) should be read in the context of the Project Overview document as a whole. It does not repeat information contained in the Overview document.

2 Overall SME "Good Regulation" Project Research goals

2.1 Objectives

The overall goal of the SME "Good Regulation" project (as stated in the funding request to the Ministry of Science Research and Technology - MoRST) is: to enhance the economic and social productivity of New Zealand SMEs, as stated above in the Overview document.

2.2 Research Rationale for the Overall Project

The SME "Good Regulation" project has been designed to construct a 'research laboratory'. The project deliberately seeks to merge the usual 'silos' that apply in the development and application of regulation by involving SMEs and agencies together in an investigation, development and re-design process.

Research methods will be employed by the project to:

Facilitate cycles of expansive learning (defined in Section 9).
Explore the dynamics of the relationship between regulator and regulated in order to distinguish how the attitudes and situational factors affect the final outcomes of the regulations.
Identify the circumstances in which the regulatory objectives for both regulator and regulated are best achieved, and the barriers to achieving them.
Develop and trial means of removing or reducing barriers to 'good regulation' (Phase Two).

2.3 Project Approach

To achieve its objectives the project has been structured into three separate phases.

Phase One: Understanding Issues (June 2003 - June 2004). Understanding issues through in-depth discussions and consultation with SME representative groups, SME owners and operators and government agencies.
Phase Two: Developing Solutions (July 2004 - December 2005). Testing the analysis and developing solutions. Using information from Phase One, the Project will develop specific solutions to improve regulatory development and compliance requirements for SMEs.
Phase Three: Delivery of Solutions (Planned to start January 2006). In Phase Three, the Project aims to bring about change in regulatory practice so SMEs and Government both benefit from regulatory compliance activities.

3 Overview of Phase One - Understanding Issues

3.1 Research Questions for Phase One - Understanding Issues

The following issues and questions emerged in the setting up of Phase One of the project (March - July 2003). These questions generated the design of the exploration group and interim design team processes, and are being tested and explored in Phase One, particularly in the Exploration Groups and in the Interim Design Team process:

what are regulations?
what is 'regulation-making' and who does this?
what is the difference between regulation and other rules?
what is the difference between regulation and good/best business practice?
what is the relationship between the two?
when is the government or an SME involved in one process and when another?
how do agencies and SMEs distinguish between the two processes (regulation and good business practice), and do they need to?
what 'realities' do agencies and SMEs face in managing regulation?
what does 'regulation' mean?
what is an 'SME' from the perspective of government
why do these things matter?